0001574596-18-000066.txt : 20180419 0001574596-18-000066.hdr.sgml : 20180419 20180419182928 ACCESSION NUMBER: 0001574596-18-000066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180417 FILED AS OF DATE: 20180419 DATE AS OF CHANGE: 20180419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tricon Capital Group Inc. CENTRAL INDEX KEY: 0001584425 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764743 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON HOLDINGS CANADA INC. CENTRAL INDEX KEY: 0001633989 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764744 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCN/TNHC GP LLC CENTRAL INDEX KEY: 0001599308 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764750 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCN/TNHC LP CENTRAL INDEX KEY: 0001599300 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764751 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON HOUSING PARTNERS US II GP LLC CENTRAL INDEX KEY: 0001599306 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764748 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 FORMER NAME: FORMER CONFORMED NAME: TRICON XI GP LLC DATE OF NAME CHANGE: 20140205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON US TOPCO LLC CENTRAL INDEX KEY: 0001666639 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764745 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W 2L2 BUSINESS PHONE: 416-928-4334 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W 2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON USA INC. CENTRAL INDEX KEY: 0001599289 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764747 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON HOLDINGS USA LLC CENTRAL INDEX KEY: 0001633949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764746 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRICON HOUSING PARTNERS US II EQUITY HOLDINGS LP CENTRAL INDEX KEY: 0001599323 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 18764749 BUSINESS ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 BUSINESS PHONE: 416-928-4116 MAIL ADDRESS: STREET 1: 1067 YONGE STREET CITY: TORONTO STATE: A6 ZIP: M4W2L2 FORMER NAME: FORMER CONFORMED NAME: TRICON XI EQUITY HOLDINGS LP DATE OF NAME CHANGE: 20140205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: New Home Co Inc. CENTRAL INDEX KEY: 0001574596 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 270560089 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 85 ENTERPRISE STE 450 CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9493827800 MAIL ADDRESS: STREET 1: 85 ENTERPRISE STE 450 CITY: ALISO VIEJO STATE: CA ZIP: 92656 FORMER COMPANY: FORMER CONFORMED NAME: New Home Co LLC DATE OF NAME CHANGE: 20130417 4 1 wf-form4_152417695369732.xml FORM 4 X0306 4 2018-04-17 0 0001574596 New Home Co Inc. NWHM 0001599300 TCN/TNHC LP 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See "Remarks"below. 0001599308 TCN/TNHC GP LLC 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 1 0 0001599323 TRICON HOUSING PARTNERS US II EQUITY HOLDINGS LP 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 1 0 0001599306 TRICON HOUSING PARTNERS US II GP LLC 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 1 0 0001599289 TRICON USA INC. 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See "Remarks" below. 0001633949 TRICON HOLDINGS USA LLC 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See Remarks 0001666639 TRICON US TOPCO LLC 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See remarks 0001633989 TRICON HOLDINGS CANADA INC. 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See remarks 0001584425 Tricon Capital Group Inc. 1067 YONGE STREET TORONTO A6 M4W2L2 ONTARIO, CANADA 0 0 0 1 See remarks Common Stock 2018-04-17 4 S 0 899 11 D 1499101 D Common Stock 2018-04-18 4 S 0 6904 11.03 D 1492197 D The sales reported on this line were effected pursuant to a Rule 10b5-1 plan adopted by TCN/TNHC LP on March 16, 2018. The shares are held directly by TCN/TNHC LP, whose general partner is TCN/TNHC GP LLC, a Delaware limited liability company, whose sole member is Tricon Housing Partners US II Equity Holdings LP, a Delaware limited partnership, whose general partner is Tricon Housing Partners US II GP LLC, a Delaware limited liability company, whose sole member is Tricon USA Inc., a Delaware corporation, whose sole shareholder is Tricon Holdings USA LLC, a Delaware limited liability company, whose sole member is Tricon US Topco LLC, a Delaware limited liability company, whose sole member is Tricon Holdings Canada Inc., an Ontario corporation, whose sole shareholder is Tricon Capital Group Inc., an Ontario corporation. As a result, each of the foregoing entities (other than TCN/TNHC LP which holds the shares directly) is an indirect beneficial owner of the reported securities. The price reported in Column 4 is a weighted average price. The shares were disposed of in multiple transactions at prices ranging from $11.00 to $11.09, inclusive. TCN/TNHC LP undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares disposed of at each separate price within the ranges set forth in this footnote. TCN/TNHC LP is a party to an Investor Rights Agreement with Joseph Davis, H. Lawrence Webb, Wayne Stelmar, Thomas Redwitz, IHP Capital Partners VI, LLC, and Watt/TNHC LLC (collectively, "Group Members"), dated February 5, 2014, which was filed as Exhibit 4.2 of the Company's Annual Report on Form 10-K for the year ended December 31, 2013. Pursuant to this Investor Rights Agreement, the entity-parties thereto have the right to designate directors for nomination and each of the Group Members has agreed to vote in favor of particular nominees as described in such Investor Rights Agreement. Each of the reporting persons may be deemed to have shared voting power over the shares owned by the other Group Members. Each of the reporting persons disclaims beneficial ownership of the shares held by the other Group Members and has no pecuniary interest in the shares held by the other Group Members. /s/ Miek Harbur, Attorney-in-Fact for TCN/TNHC LP 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for TCN/TNHC GP LLC 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon Housing Partners US II Equity Holdings LP 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon Housing Partners US II GP LLC 2018-04-19 /s/ Miek Harbur, Attroney-in-Fact for Tricon USA Inc. 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon Holdings USA LLC 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon US Topco LLC 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon Holdings Canada Inc. 2018-04-19 /s/ Miek Harbur, Attorney-in-Fact for Tricon Capital Group Inc. 2018-04-19